stockbroker negligence Archives

Robert Rex, Esq.
January 30, 2019

Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL

Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 30, 2019 January 30, 2019

January 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) , a previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…

Robert Rex, Esq.
January 28, 2019

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 28, 2019 January 28, 2019

January 2019 – Austin, TX According to publicly available records Trevor Martin Carney (CRD#5657735) , a stockbroker who is currently registered with Ascendant Alternative Strategies , disclose a Regulatory Event and two currently outstanding judgment/liens.…

Robert Rex, Esq.
January 28, 2019

Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX

Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 28, 2019 January 28, 2019

January 2019 – Austin, TX According to public records of Justin A. Montandon (CRD#4455879) a stockbroker employed by Ameriprise Financial Services, Inc., discloses a regulatory event, a customer dispute settlement. The…

Robert Rex, Esq.
January 28, 2019

Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX

Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 28, 2019 January 28, 2019

January 2019 – Austin, TX According to publicly available records Omar Charles Richardson , a stockbroker who is currently registered with Charles Schwab & Co., Inc., discloses a pending customer dispute The…

Robert Rex, Esq.
January 26, 2019

Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA

Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 26, 2019 January 26, 2019

November 2020, Laguna Niguel, CA According to publicly available records Aaron Douglas (Doug) Maurer , a stockbroker previoiusly registered with Ascendant Alternative Strategies & RP Capital , discloses a prior customer…

Robert Rex, Esq.
January 25, 2019

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 25, 2019 January 25, 2019

October 2019- Cut Off, LA According to publicly available records Kristian “Kris” M. Gaudet , a former stockbroker who was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…

Robert Rex, Esq.
January 7, 2019

Philip Rosensweig-Former Laidlaw & Co. Broker-Discloses Numerous Customer Suits-Boca Raton, FL

Philip Rosensweig-Former Laidlaw & Co. Broker-Discloses Numerous Customer Suits-Boca Raton, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 7, 2019 January 7, 2019

January 2019- Boca Raton, FL According to publicly available records Philip E. Rosensweig , a stockbroker who formerly was registered with Laidlaw & Co. and who is currently employed by Westpark…

Robert Rex, Esq.
January 2, 2019

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 2, 2019 June 10, 2024

Link to March 2024 UPDATE January 2019-El Paso, Texas According to publicly available records Travis Jerome Hughes , a stockbroker who is currently registered with Cetera Advisors disclose a currently pending customer…

Robert Rex, Esq.
December 20, 2018

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 20, 2018 December 20, 2018

December 2018-Melville, New York According to publicly available records Ian Greenblatt (aka Eric Green) , a stockbroker who is currently registered with Capitol Securities Management Inc. disclose a recent regulatory suspension & fine…

Robert Rex, Esq.
December 14, 2018

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 14, 2018 December 14, 2018

December 2018-Pacific Grove, CA According to publicly available records Jon R. Pariser , a former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services, disclose…

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